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Securities Fraud Blog

Life Cycle of a FINRA Claim

By McCabe Rabin, P.A. |

Virtually every new account application with any brokerage firm contains a pre-dispute arbitration agreement. This agreement requires that any dispute you have with your stockbroker or brokerage firm be filed with the Financial Industry Regulatory Authority (“FINRA”) instead of being filed in court. The FINRA arbitration process differs from the court system in several… Read More »

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Prime Bank = Prime Fraud

By McCabe Rabin, P.A. |

Prime Bank Instrument Fraud If you have been approached to invest in “prime bank” instruments, don’t do it! It is a scam. Prime bank scams purportedly involve the trading of prime bank instruments issued or guaranteed by financial institutions such as the World Bank, the International Monetary Fund, or the U.S. Federal Reserve Bank…. Read More »

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Check Cashing Scams: Read This Before You Cash That Check

By McCabe Rabin, P.A. |

One scam still making the rounds is the fake check scam. The way it generally works is this. You receive an authentic-looking check in the mail that appears to be from a real company. Along with the check, you receive instructions to deposit the check and transfer a portion of the money to someone… Read More »

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Fraudulent Sales Practices: Wells Fargo To Pay $185 Million

By McCabe Rabin, P.A. |

Illegal sales practices: Wells Fargo To Settle Wells Fargo & Co. has agreed to pay $185 million to settle federal regulators’ investigation for illegal sales practices. The bank acknowledged that it pushed employees to open as many as 2 million accounts without customers’ approval. As a result of the scandal, Wells Fargo said, effective… Read More »

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Options 101: The Basics of Trading Stock Options

By McCabe Rabin, P.A. |

What Does it Mean to Trade Stock Options? Options are complex investments and can carry substantial risk. Before you decide to trade options, you should understand the basics. Options can be used with a wide range of financial products. This blog will focus on the most vanilla of examples, trading stock options. What are… Read More »

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SEC Whistleblowers Receive Over $100 Million in Awards

By McCabe Rabin, P.A. |

Over $100 Million in Rewards Given to Whistleblowers The SEC has announced that, as of yesterday, it has made more than $100 million in awards to whistleblowers under the SEC Whistleblower program. Created by Congress as part of the Dodd-Frank Act in 2010, the program has been up and running since August 2011. After… Read More »

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Equity Compensation: Not Just for CEOs Anymore

By McCabe Rabin, P.A. |

Securities Fraud Lawyer Explains: Equity Compensation is Not Just for CEOs Anymore Equity compensation, also known as a stock award, is a form of non-cash compensation that represents ownership in a company. If the company does well and the value of its stock goes up, the future value of the stock award could be… Read More »

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Broker Obligations When Selling Municipal Bonds

By McCabe Rabin, P.A. |

When Selling Municipal Bonds What are the Broker’s Obligations Many brokers and customers mistakenly believe that municipal bonds are always a “safe” place to be. The recent debacle in Puerto Rico proves this is not the case. The law imposes special obligations upon brokers who sell municipal bonds. First, the broker must thoroughly research… Read More »

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ABLE Plans: Helping Families of Kids With Special Needs Save for the Future

By McCabe Rabin, P.A. |

Starting July 1, Florida families with children who have special needs will have another option available to help them save for the future costs of caring for their loved one. Florida’s ABLE United Program is one of four such plans nationwide. The ABLE (Achieving a Better Life Act) investment plan will allow families to… Read More »

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How to Make Sense of Your Monthly Account Statements

By McCabe Rabin, P.A. |

Brokerage account statements can be lengthy and complicated. Having a basic idea of what you are looking at, however, can help you spot mistakes, unauthorized activity, and even fraud. Here are the key types of information generally found on monthly account statements and some potential red flags that warrant follow-up with your brokerage firm…. Read More »

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